When you applied for your FAP licence, you were asked, “Do you have an approved, documented process to review your conduct and the conduct of everyone providing financial advice under your licence?” The application also asked, “Does your process for reviewing conduct cover how to identify and fix poor conduct, and how to use lessons learned to improve?”
Now that we’re over two years into the new advice regime, if you haven’t already been reviewing your conduct, it’s a good time to pull out your licence application and compare it with the FMA’s expectations and your operations manual. Ask yourself: Are you doing what you said you would do?
Strategi Compliance offers a Compliance Assurance Review, which thoroughly checks every aspect of your license application. We provide a clear, defendable report that outlines your current compliance status, along with practical recommendations for improvement.